Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

House Passes Creating Financial Prosperity for Businesses and Investors Act

Broker-Dealer, Consumer Protection, Crowdfunding, Investment Advisers, Private Equity On Monday, the House of Representatives passed the Creating Financial Prosperity for Businesses and Investors Act (H.R. 6427) (the “Act”) by a vote of 398 to 2. The Act is actually a compilation of six measures that were previously considered and passed by the House in 2016, but that have thus far seen no action […] Read more →

by   |   December 6, 2016

SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

Investment Advisers, M&A, Private Equity In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not... Read more →

by   |   September 15, 2016

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

Investment Advisers The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain... Read more →

by   |   September 8, 2016